Hedge Fund Database

ALPHA FINANCIAL ADVISORS, LLC

Adviser information for ALPHA FINANCIAL ADVISORS, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location North Carolina, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,480 $442.7M
Non-Discretionary 7 $1.4M
Total 1,487 $444.1M

Clients

Type Number RAUM
Individuals 109 $77.6M
HNW Individuals 140 $365.3M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans <5 $1.2M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 101-250

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesCONSULTING
Compensation % of AUMFixed fees

Identifiers

SEC RIA File Number 801-79666
SEC ERA File Number 801-79666
SEC CIK Numbers 1972138
SEC CRD Numbers 122545
Legal Entity Identifier None

Principal Office

11325 N COMMUNITY HOUSE RD
SUITE #410
CHARLOTTE
NC
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 704-716-1100, Fax: 704-716-1101

Websites

www.alphafa.com/ www.linkedin.com/company/alphafinancial/ www.facebook.com/alphafinancialadvisors twitter.com/alphafa_feeonly plus.google.com/+alphafinancialadvisorscharlotte www.youtube.com/channel/uc9oubdykdiehhtokkqfkb6w

Chief Compliance Officer

ANN MARIE REILLEY
PRINCIPAL, MANAGING MEMBER, CEO
11325 N COMMUNITY HOUSE RD
SUITE #410
CHARLOTTE
NC
United States
Tel: 704-716-1100
Fax: 704-716-1101
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
GUGLE, ANN MARIE, REILLEY Individual – MANAGING MEMBER / CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER (7/2019) 08/2010 > 75%
BARRINGER, HENRY, NICHOLSON Individual – MEMBER 01/2022 5-10%

No. Employees, Historic

105020192020202120222023202420257 on 5/1/20197 on 5/1/20197 on 7/31/20197 on 12/13/20196 on 5/7/20206 on 6/30/20207 on 3/30/20216 on 3/22/20226 on 5/5/20226 on 8/30/202210 on 3/28/202310 on 5/25/202310 on 3/29/2024

RAUM, Historic

500M250M02019202020212022202320242025249566232 on 5/1/2019249566232 on 5/1/2019259774546 on 7/31/2019259774546 on 12/13/2019287230142 on 5/7/2020287230142 on 6/30/2020341580625 on 3/30/2021412341503 on 3/22/2022412341503 on 5/5/2022412341503 on 8/30/2022353648198 on 3/28/2023353648198 on 5/25/2023444127297 on 3/29/2024

No. Clients, Historic

30015002019202020212022202320242025201 on 5/1/2019201 on 5/1/2019204 on 7/31/2019204 on 12/13/2019211 on 5/7/2020211 on 6/30/2020224 on 3/30/2021239 on 3/22/2022239 on 5/5/2022239 on 8/30/2022239 on 3/28/2023239 on 5/25/2023250 on 3/29/2024

Holdings

From latest 13F, filed July 23rd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ALPHABET INC CAP STK CL A 423K 2K 0
ALPHABET INC CAP STK CL C 342K 2K 0
AMAZON COM INC COM 225K 1K 0
AMERICAN CENTY ETF TR US EQT ETF 445K 5K 0
AMERICAN CENTY ETF TR INTL EQT ETF 378K 6K 0
APPLE INC COM 534K 3K 0
BANK AMERICA CORP COM 213K 5K 0
CAPITAL GRP FIXED INCM ETF T CORE PLUS INCM 447K 20K 0
DIMENSIONAL ETF TRUST US SMALL CAP VAL 21M 727K 0
DIMENSIONAL ETF TRUST INTL CORE EQUITY 25M 966K 0
DIMENSIONAL ETF TRUST EMERGING MKTS HI 2M 60K 0
DIMENSIONAL ETF TRUST WORLD EQUITY ETF 278K 5K 0
DIMENSIONAL ETF TRUST GLOBAL EX US COR 26M 497K 0
DIMENSIONAL ETF TRUST US CORE EQT MKT 20M 541K 0
DIMENSIONAL ETF TRUST US EQUITY ETF 11M 182K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 4M 127K 0
DIMENSIONAL ETF TRUST US SMALL CAP ETF 7M 120K 0
DIMENSIONAL ETF TRUST WORLD EX US CORE 2M 69K 0
DIMENSIONAL ETF TRUST CORE FIXED INCOM 5M 128K 0
DIMENSIONAL ETF TRUST NATL MUN BD ETF 201K 4K 0
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 4M 93K 0
FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 16M 380K 0
INVESCO EXCH TRD SLF IDX FD RUSL 1000 DYNM 21M 409K 0
ISHARES TR EXPONENTIAL TECH 22M 367K 0
ISHARES TR CORE US AGGBD ET 545K 6K 0
ISHARES TR MSCI EAFE ETF 480K 6K 0
ISHARES TR S&P MC 400VL ETF 361K 3K 0
ISHARES TR RUS 1000 VAL ETF 732K 4K 0
ISHARES TR RUS 1000 GRW ETF 501K 1K 0
LINDE PLC SHS 274K 625 0
MICROSOFT CORP COM 386K 864 0
NVIDIA CORPORATION COM 246K 2K 0
PROCTER AND GAMBLE CO COM 243K 1K 0
SCHWAB STRATEGIC TR US SML CAP ETF 260K 5K 0
SCHWAB STRATEGIC TR US LCAP GR ETF 461K 5K 0
SPDR INDEX SHS FDS MSCI ACWI EXUS 231K 8K 0
SPDR S&P 500 ETF TR TR UNIT 527K 968 0
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 2M 14K 0
VANGUARD SCOTTSDALE FDS LONG TERM TREAS 9M 160K 0
VANGUARD SCOTTSDALE FDS TOTAL WLD BD ETF 322K 5K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 212K 1K 0
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 342K 7K 0